WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC
Adviser information for WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nevada, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 703 | $237.5M |
| Non-Discretionary | 0 | $0 |
| Total | 703 | $237.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 129 | $29.7M |
| HNW Individuals | 81 | $204.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $3.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $204,912 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
30700 RUSSELL RANCH ROADSUITE 250
WESTLAKE VILLAGE
CA
United States
Monday - Friday, 8AM - 4PM
Tel: 626-689-7181, Fax: None
Chief Compliance Officer
MICHAEL DE LUZ
30700 RUSSELL RANCH ROAD
SUITE 250
WESTLAKE VILLAGE
CA
United States
Tel:
657-464-0142
M*****@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Novak, Daniel, Christopher | Individual | – | MANAGING MEMBER | 04/2019 | 25-50% |
| Williams, Jacob | Individual | – | MANAGING MEMBER | 04/2019 | > 75% |
| De Luz, Michael, K | Individual | – | CCO | 06/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 8X8 INC NEW | COM | 77K | 35K | – |
| ABBVIE INC | COM | 360K | 2K | – |
| ACCURAY INC | COM | 176K | 97K | – |
| ALPHABET INC | CAP STK CL A | 549K | 3K | – |
| ALPHABET INC | CAP STK CL C | 576K | 3K | – |
| AMAZON COM INC | COM | 659K | 3K | – |
| AMGEN INC | COM | 663K | 2K | – |
| AMKOR TECHNOLOGY INC | COM | 497K | 12K | – |
| AMPLIFY ETF TR | CWP ENHANCED DIV | 345K | 9K | – |
| ANGIODYNAMICS INC | COM | 268K | 44K | – |
| APPLE INC | COM | 2M | 11K | – |
| ASSERTIO HOLDINGS INC | COM NEW | 16K | 13K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 5K | – |
| BROADCOM INC | COM | 652K | 406 | – |
| CARPARTS COM INC | COM | 114K | 114K | – |
| CISCO SYS INC | COM | 250K | 5K | – |
| CONDUENT INC | COM | 65K | 20K | – |
| COSTCO WHSL CORP NEW | COM | 405K | 476 | – |
| DIMENSIONAL ETF TRUST | CORE FIXED INCOM | 417K | 10K | – |
| DIMENSIONAL ETF TRUST | EMGR CRE EQT MNG | 206K | 8K | – |
| DIMENSIONAL ETF TRUST | INTL CORE EQT MK | 236K | 8K | – |
| DIMENSIONAL ETF TRUST | US CORE EQUITY 2 | 231K | 7K | – |
| DIMENSIONAL ETF TRUST | US EQUITY ETF | 407K | 7K | – |
| FIDELITY COVINGTON TRUST | MSCI COMMNTN SVC | 341K | 7K | – |
| FIDELITY COVINGTON TRUST | MSCI FINLS IDX | 236K | 4K | – |
| FIDELITY COVINGTON TRUST | MSCI HLTH CARE I | 237K | 3K | – |
| FIDELITY COVINGTON TRUST | MSCI INFO TECH I | 823K | 5K | – |
| FIDELITY COVINGTON TRUST | STOCK FOR INFL | 298K | 7K | – |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 5M | 111K | – |
| FIRST TR EXCHANGE-TRADED FD | NASD TECH DIV | 353K | 5K | – |
| FIRST TR EXCHNG TRADED FD VI | TCW UNCONSTRAI | 1M | 56K | – |
| FIRST TR STOXX EUROPEAN SELE | COMMON SHS | 134K | 11K | – |
| FRANKLIN TEMPLETON ETF TR | HIGH YIELD CORP | 319K | 13K | – |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 1M | 12K | – |
| HOME DEPOT INC | COM | 219K | 636 | – |
| INFORMATION SVCS GROUP INC | COM | 128K | 44K | – |
| INVESCO EXCH TRADED FD TR II | CALIF AMT MUN | 2M | 66K | – |
| INVESCO EXCH TRADED FD TR II | FTSE RAFI SML | 626K | 19K | – |
| INVESCO EXCHANGE TRADED FD T | S&P SMCP VLU MNT | 298K | 6K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 204K | 6K | – |
| INVESCO QQQ TR | UNIT SER 1 | 1M | 2K | – |
| ISHARES GOLD TR | ISHARES NEW | 418K | 10K | – |
| ISHARES INC | CORE MSCI EMKT | 621K | 12K | – |
| ISHARES INC | EM MKT SM-CP ETF | 2M | 25K | – |
| ISHARES INC | EMNG MKTS EQT | 729K | 16K | – |
| ISHARES INC | ESG AWR MSCI EM | 348K | 10K | – |
| ISHARES INC | MSCI EMRG CHN | 1M | 18K | – |
| ISHARES INC | MSCI GBL GOLD MN | 2M | 76K | – |
| ISHARES SILVER TR | ISHARES | 2M | 92K | – |
| ISHARES TR | CALIF MUN BD ETF | 3M | 52K | – |
| ISHARES TR | CORE 1 5 YR USD | 967K | 20K | – |
| ISHARES TR | CORE DIV GRWTH | 2M | 31K | – |
| ISHARES TR | CORE MSCI EAFE | 2M | 31K | – |
| ISHARES TR | CORE MSCI INTL | 616K | 9K | – |
| ISHARES TR | CORE MSCI PAC | 751K | 12K | – |
| ISHARES TR | CORE MSCI TOTAL | 2M | 34K | – |
| ISHARES TR | CORE S&P500 ETF | 320K | 584 | – |
| ISHARES TR | CORE US AGGBD ET | 309K | 3K | – |
| ISHARES TR | EAFE SML CP ETF | 839K | 14K | – |
| ISHARES TR | ESG AW MSCI EAFE | 2M | 22K | – |
| ISHARES TR | GLOB HLTHCRE ETF | 224K | 2K | – |
| ISHARES TR | INTERNATIONAL SL | 2M | 65K | – |
| ISHARES TR | MSCI ACWI EX US | 547K | 10K | – |
| ISHARES TR | NATIONAL MUN ETF | 659K | 6K | – |
| ISHARES TR | US TELECOM ETF | 347K | 16K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 351K | 6K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHT MUNCPL | 345K | 7K | – |
| JOHN HANCOCK EXCHANGE TRADED | MULTIFACTOR MI | 238K | 4K | – |
| JOHNSON & JOHNSON | COM | 395K | 3K | – |
| JPMORGAN CHASE & CO. | COM | 487K | 2K | – |
| LAM RESEARCH CORP | COM | 399K | 375 | – |
| LISTED FD TR | SWAN HEDGED EQTY | 319K | 15K | – |
| LOOP INDS INC | COM | 21K | 10K | – |
| MARKETWISE INC | COM CL A | 90K | 78K | – |
| META PLATFORMS INC | CL A | 276K | 547 | – |
| MICROSOFT CORP | COM | 1M | 3K | – |
| MODINE MFG CO | COM | 599K | 6K | – |
| NATURES SUNSHINE PRODS INC | COM | 160K | 11K | – |
| PEPSICO INC | COM | 299K | 2K | – |
| PIMCO CALIF MUN INCOME FD | COM | 2M | 215K | – |
| PIMCO CALIF MUN INCOME FD II | COM | 1M | 238K | – |
| PIMCO DYNAMIC INCOME STRATEG | COM SHS BEN INT | 280K | 13K | – |
| PIMCO EQUITY SER | RAFI DYN EMERG | 238K | 12K | – |
| PIMCO EQUITY SER | RAFI DYN ML US | 7M | 137K | – |
| PIMCO EQUITY SER | RAFI DYN MULTI | 2M | 63K | – |
| PIMCO ETF TR | ACTIVE BD ETF | 3M | 37K | – |
| PIMCO ETF TR | ENHAN SHRT MA AC | 492K | 5K | – |
| PIMCO ETF TR | ENHNCD LW DUR AC | 1M | 11K | – |
| PIMCO ETF TR | INTER MUN BD ACT | 1M | 25K | – |
| PIMCO ETF TR | MULTISECTOR BD | 5M | 214K | – |
| PIMCO ETF TR | SHTRM MUN BD ACT | 368K | 7K | – |
| PIMCO MUN INCOME FD III | COM | 345K | 44K | – |
| PLAYSTUDIOS INC | CLASS A COM | 59K | 29K | – |
| PLAYTIKA HLDG CORP | COM | 179K | 23K | – |
| POWERSHARES ACTIVELY MANAGED | TOTAL RETURN | 1M | 31K | – |
| PRIORITY TECHNOLOGY HLDGS IN | COM | 77K | 15K | – |
| PROCTER AND GAMBLE CO | COM | 278K | 2K | – |
| PROFIRE ENERGY INC | COM | 46K | 32K | – |
| QUALCOMM INC | COM | 522K | 3K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US S | 200K | 4K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 526K | 8K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 206K | 1K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 479K | 2K | – |
| SILVERCORP METALS INC | COM | 61K | 18K | – |
| SIRIUS XM HOLDINGS INC | COM | 46K | 16K | – |
| SOLO BRANDS INC | COM CL A | 42K | 19K | – |
| SPDR GOLD TR | GOLD SHS | 392K | 2K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 3M | 5K | – |
| SPDR SER TR | NUVEEN BLOOMBERG | 459K | 18K | – |
| SPDR SER TR | S&P DIVID ETF | 233K | 2K | – |
| SYPRIS SOLUTIONS INC | COM | 8M | 4M | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 277K | 2K | – |
| TAYSHA GENE THERAPIES INC | COM SHS | 101K | 45K | – |
| TELEFONAKTIEBOLAGET LM ERICS | ADR B SEK 10 | 76K | 12K | – |
| TRUBRIDGE INC | COM | 324K | 32K | – |
| UNITEDHEALTH GROUP INC | COM | 342K | 672 | – |
| VANECK ETF TRUST | GOLD MINERS ETF | 997K | 29K | – |
| VANECK ETF TRUST | HIGH YLD MUNIETF | 1M | 22K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 919K | 2K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 738K | 3K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 300K | 3K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 317K | 2K | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 611K | 6K | – |
| VANGUARD WORLD FD | INF TECH ETF | 212K | 367 | – |
| VERIZON COMMUNICATIONS INC | COM | 212K | 5K | – |
| VIMEO INC | COMMON STOCK | 69K | 19K | – |
| VODAFONE GROUP PLC NEW | SPONSORED ADR | 95K | 11K | – |
| WISDOMTREE TR | INTL SMCAP DIV | 422K | 7K | – |
| YEXT INC | COM | 56K | 11K | – |